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Thomas E. Herman

CALAMOS FINANCIAL SERVICES LLC
Chicago, IL 60607
Some features on this profile are disabled
CRD#: 4915058
TH

Professional summary

Thomas Edward Herman, who also goes by Thomas E. Herman, is a registered financial professional currently at CALAMOS FINANCIAL SERVICES LLC located in Chicago, Illinois.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2005. Thomas has worked at 3 firms and has passed the Series 99TO, SIE and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas E. Herman

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Edward Herman's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 7, 2016 - Present

CALAMOS FINANCIAL SERVICES LLC

Office #1: 215 North Peoria Street #600/1100/1200, Chicago, IL 60607
BD
CRD#: 19850
Chicago, IL
Past

September 22, 2010 - March 3, 2016

HARRIS ASSOCIATES SECURITIES L.P.

BD
CRD#: 6959
CHICAGO, IL
Past

May 30, 2005 - September 1, 2010

ARIEL DISTRIBUTORS, LLC

BD
CRD#: 38333
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 27
Date: 5/27/2005
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CF
CALAMOS FINANCIAL SERVICES LLC
CALAMOS FINANCIAL SERVICES LLC | CALAMOS FINANCIAL SERVICES, INC.

CRD#: 19850 / SEC#: , 8-37854

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
2020 Calamos Court, Naperville, IL 60563-2787
Mailing Address
2020 Calamos Court, Naperville, IL 60563-2787
Phone number
(630) 245-7200
Established
Delaware since 09/15/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CALAMOS INVESTMENTS LLCSOLE MEMBER/MANAGER
KOUDOUNIS, JOHN SPIROPRESIDENT AND CHIEF EXECUTIVE OFFICER1878118
DUFRESNE, DANIEL LEOEVP, CHIEF OPERATING OFFICER2852606
HELMETAG, CHRISTIAN ALLANPRINCIPAL OPERATIONS OFFICER5282700
HELMETAG, CHRISTIAN ALLANFINANCIAL OPERATION PRINCIPAL5282700
KILEY, THOMAS PATRICKSVP CHIEF DISTRIBUTION OFFICER2869770
KILEY, THOMAS PATRICKPRINCIPAL EXECUTIVE OFFICER2869770
OJALA, ERIK DONALDGENERAL COUNSEL & SECRETARY4758365
SINKER, JACQUELINE ELIZABETHCHIEF COMPLIANCE OFFICER1471593

Disclosures

Regulatory Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

CALAMOS FINANCIAL SERVICES LLC

CRD#: 19850Chicago, IL 60607

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